Appendix a - Data Collection Process

SUPPLEMENTARYDATA

APPENDIX A - DATA COLLECTION PROCESS

We conducted extensive field research from 2012 to 2014in Ghana and Nepal on the focal adaptation initiatives. Through exploratory interviews with key informants and country data, we selected climate vulnerable local communities/area in each country as a starting point for our research. We organised detailed diagnostic workshops and follow up interviews in the selected communities/areas to identify the local development and climatic challenges and linkages of the community members with external organisations. This ground level knowledge and analysis set the basis for our research and identification of organisational actors for detailed interviews. To study the implementation design across levels, we identified key organisations at local, district, region and national levels relevant to adaptation using actor mapping and networking techniques. Detailed semi-structured interviews were conducted of the identified organisations including national ministries, local agencies, I/NGOs, funders, research organisations, academia, private sector organisations, project developers, consultants and local community groups. In total, we conducted 102 interviews in Nepal and 92 interviews in Ghana (See Appendix 2 for interviewee details), excluding community level interviews.

We triangulated the interview data through multiple interviews within the same organisations, network analysis, walk through exercises to trace activity at multiple scales, and content analysis of relevant policies and laws to agriculture adaptation (Chaudhury et al., 2016, Sova and Chaudhury, 2013, Sova et al., 2014). The analysis was stopped when we did not identify any further significant actors. The selection of local, district and regional organisational interviewees, was influenced by the focal local community/area. Other communities/areas may lead to different sub-national actors. However at the national level the actors relevant for the focal adaptation initiative across the country are similar.

For Pakistan, we did not conduct any direct field research, but instead used detailed proprietary data of the LAPA managers (also an author on this paper) for the LAPA development. This included details of stakeholders meetings for the LAPA formulation, the developed LAPA documents for the 13 district LAPA and limited interviews of key personnel.

Sample Interview Questions (Nepal and Ghana)

Please specify your organisational type (Govt, Private, NGO, Funder, Academia, etc.)

Please describe the main objectives/interests of your organisation and the geographic reach of your organisation (i.e. districts, constituency, regions etc.).

Does your organisation work in climate change sector or with actors from focal adaptation initiative (Nepal LAPA, Ghana NCCAS)? What is your role?

What are the key operational challenges of the focal adaptation initiative? Is the planned adaptation mechanism (Nepal LAPA or Ghana NCCAS) designed appropriately to reach climate vulnerable communities? Please explain?

What are the key operational challenges that your organisation faces in implementing climate change adaptation, what can be improved? How do you identify these climate change challenges and adaptation strategies?

What resources does your organisation have access to for contributing to adaptation implementation? (e.g. expertise, funds, human resource, legislation authority, network)

Who are the key decision makers in your organisation for climate change or climate change adaptation activities?

Which organisations does your organisation regularly interact with in respect of the focal adaptation initiative? (Government, I/NGOs, Political Party, Private Sector, Funders, Community Groups, Academia etc. - Identify type and purpose of relationships)

What are the most important policies in environmental change, climate change, adaptation and agriculture, and how do these impact your organisation?

What constitutes measure of success for the adaptation projects/plans your organisation is involved in? (e.g. reaching X number of people, or releasing X amount of funds). How do you measure it?

Can you give examples of successful projects? What worked and what did not?

Is there an impact of administrative and fiscal decentralisation on your organisation?

What do you think of the multiple funding channels (Government, line ministries, I/NGOs, bilateral etc.)? Is there a need to centralise these funding flows? Who should manage this process?

Who should be the main funder for climate change adaptation? Who should be the main recipient of climate change adaptation funding?

Name the top 5-10 actors in climate change adaptation.

Identifying Organisational Attributes

We transcribed and coded the interview data to identify the key themes about the focal adaptation initiative. We analysed these themes in light of the policy and implementation documents (e.g. LAPA frameworks, NCCAS document, national climate change policy, the formulated LAPA plans, budget guidelines). We further interviewed key organisations involved in developing the focal adaptation initiative in each country (e.g. I/NGOs, environment ministries, consultants). From the initial themes, interviews, content analysis and broader organisational literature we narrowed down six organisational attributes relevant to the adaptation initiatives in the three countries. For example, nature of work force is an important attribute in Nepal and Pakistan but is not strictly applicable in Ghana, as the meta-organisation does not directly influence the selection of workforce. This aspect was not included in our analysis but clearly warrants further consideration. The list below on organisational attributes is not exhaustive but offers a good starting point for our meta-organisational analysis.

Size and age of initiative
Formalisation of Initiative
Institutional environment
Participant actors and their roles
Goals and objectives of initiative
Operational core processes
Funding source and availability

APPENDIX B - INTERVIEWEE DETAILS

NEPAL

Category / Type of Organisation / Number of Interviews
National Organisations
Government Agencies / Ministries (Agriculture, Environment, Local Development, Finance, Physical Planning, National Planning), Alternative Energy Center, Social Welfare Council, Election Commission, National Climate Change Support Unit, / 16
I/NGOs / WWF, OXFAM, ICIMOD, CAN, Winrock, ISET, HCI, HIMCCA, CARE, Rupantaran, CDKN, Practical Action, IDS, Youth Initiative IDE, HUDEP, The Communicator / 28
Academia/Research / Tribhuvan University, South Asia Institute, IRRI, CIMMYT, Agriculture Research Council, Government Research Institutes / 6
Donors/Funders / UNDP, USAID, World Bank, DANIDA, Swiss Development Council, International Finance Corporation, EU, GEF- Small Grants Programme, / 13
Political Parties / Congress, UCPN- Maoists, Communist Party / 3
Private Sector / Clean Energy Development Bank, ACE Development Bank, Himalayan Agri Business, Alliance Nepal / 6
Media / BBC Media Action, Nepal Forum of Environmental Journalists, The Himalayan / 4
Associations / Association of Districts, Villages, Community Forest Users, Chamber of Commerce / 5
Sub-Total – National Interviews / 81
District Organisations
Government Agencies / District Development Committee (DDC), District Departments (Agriculture, Livestock, Local Governance), Village Development Committee (VDC) / 11
I/NGOs / IDE, World Vision, NGO Federation / 3
Private Sector / Agriculture Development Bank, Local Input Providers, Nirdhan Microfinance Bank, AICL / 6
Research / CIMMYT / 1
Sub-Total – District Interviews / 21
TOTAL INTERVIEWS / 102

Notes:

In some cases multiple interviews were conducted with personnel within the same organisation, but often from different departments or roles.
In addition to the organisational interviews, selected community members from Beora community in our focal district of Rupandehi were interviewed to understand the local climatic challenges and external interactions of the members with local organisations

GHANA

Category / Type of Organisation / Number of Interviews
National Organisations
Government Agencies / Ministries (Agriculture, Environment, Local Government, Finance, National Planning), Environmental Protection Agency, National Disaster Agency, Meteorological Agency, Cocoa Board / 14
I/NGOs / GIZ, CAN Int, Solidaridad, Ghana Wildlife, CARE, Religious Board, Development Institute, IDE, SNV, Peasant Farmers Association / 11
Academia/Research / University of Ghana, Government Research Institutes / 5
Donors/Funders / UNDP, CIDA, World Bank, IFAD, GEF Small Grants, JICA / 6
Political Parties / NDC, NPP / 2
Private Sector / Association of Ghana Industry, Syngenta, Wienco, Guinness Ghana, Agriculture Development Bank / 5
Trans-national Bodies / AGRA, FARA / 2
Sub-Total – National Interviews / 45
Regional Organisations
Government Agencies / Regional Coordinating Council, Regional Departments (Agriculture, Finance, Budgets), Environmental Protection Agency, Meteorological Agency, Ghana Social Opportunity Programme, National Disaster Agency / 14
I/NGOs / CARE, PLAN / 2
Private Sector / Agriculture Input Providers / 3
Sub-Total – Regional Interviews / 19
District Organisations
Government Agencies / District Assembly, District Departments (Agriculture, Business Support, Cooperatives, Forestry) / 15
I/NGOs / IDE, Peace Corp / 4
Political Parties / NDC, NDC, Youth Wing / 2
Private Sector / Agriculture Input Providers / 3
Religious Bodies / Church, Missions / 2
Traditional Authorities / Paramount Chief, Sub Chief / 2
Sub-Total – District Interviews / 28
TOTAL INTERVIEWS / 92

Notes:

In some cases multiple interviews were conducted with personnel within the same organisation, but often from different departments or roles.
In addition to the organisational interviews, 56 community members from Orbili Village in our focal district of Lawra were interviewed to understand the local climatic challenges and external interactions of the community members with local organisations